Proactively monitor your employee communications to identify instances
of misbehavior in advance and mitigate the risk of litigation with Supervisor.
Why proactively monitor with Supervisor?
Enhance corporate culture through custom lexicons of keywords
and phrases that align with internal HR policies and industry mandates.
Empower your compliance officers to identify risk, take control,
and eliminate that risk more efficiently than they are today.
Review a full audit-trail of Supervision activities to ensure reviewers
are using the platform properly and efficiently.
Establish proper record-keeping practices in order to be compliant
with FINRA 4511& SEC 17a-4.
Promoting corporate culture with Supervisor.
With the evolution of new and innovative collaboration platforms, enterprises are in a constant of flux when it comes to improving their business processes in pursuit of a competitive advantage. These collaboration platforms aim to positively change the way we work; however, their adoption will take time, and must find its fit within the greater, unique, information fabric of enterprises. All the while, email remains a mainstay form of communication for many. For many enterprises operating in regulated and highly litigious industries, ensuring that these new collaboration platforms are properly monitored is not only a best practice but a requirement. Regulations within the SEC, FINRA, and MiFID II frameworks mandate those operating in the financial industry to perform periodic monitoring of their employees’ electronic communications, and regulatory interest scrutinizing the way corporations store and manage sensitive information is rapidly expanding with new regulations such as GDPR.
While Supervision has been a core function for risk and compliance teams in financial services for quite some time, its application delivers benefit to many other industry verticals. Social movements such as #MeToo call attention to the need for corporate governance over workplace culture, and Supervisor is leveraged to promote, enforce and ensure adherence to workplace standards, allowing organizations to address these issues proactively. EAS Supervisor empowers organizations not only to confidently address compliance benefits but also provides an ability to deploy and enact policies which govern against behavior inconsistent with your corporate ethos and values. EAS Supervisor delivers a single management console to perform federated monitoring of all electronic communications, which enables your organization to focus on core business while constantly demonstrating compliance and enhancing workplace culture by mitigating risks before they become legal issues and headline news.
Reputational Damage. With the proliferation of communication and publicly viewable social media platforms available to employees today, many organizations have faced scrutiny for the statements or actions of a single employee. Organizations can curtail this risk by monitoring employee sentiment and identify issues before they become problems.
Legal Risks. Information, like people, can be both an asset and a liability to your organization. If information exists or is exposed outside of its restricted domain, organizations must act fast to avoid legal costs or fines – think sensitive market announcements or the mishandling of personally identifiable information [PII] governed under GDPR.
Intellectual Property. Organizations hold vast amounts of proprietary information in electronic formats, and the inability to protect against data leakage could cost your organization your most valuable information and competitive advantages. By monitoring and controlling the flow of information in and out of an organization, Supervisor protects your critical business information and competitive advantages from unwanted leakage.
Call +1 716.229.3040 to schedule a demo today.